[Federal Register Volume 68, Number 109 (Friday, June 6, 2003)]
[Notices]
[Pages 33946-33949]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-14325]


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ENVIRONMENTAL PROTECTION AGENCY

[OA-2003-0005: FRL-7508-7]


Public Involvement Policy

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of New Public Involvement Policy.

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SUMMARY: The EPA is issuing its new Public Involvement Policy. The 
purpose of today's Notice is to advise the public and present the 
Policy. The new Policy provides guidance to EPA staff on effective and 
reasonable means to involve the public in EPA's regulatory and program 
implementation decisions. The core of the Policy is the recommended 
seven basic steps for effective public involvement, which the Agency 
should consider when making major decisions on rules, policies and 
program implementation activities. The Policy is directed internally, 
but EPA's partners in states, tribes or local governments may also find 
it to be a useful tool for them.

FOR FURTHER INFORMATION CONTACT: Patricia Bonner, Environmental 
Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460-
0001; 202-566-2204; [email protected]. For printed copies, 
telephone 202-566-2216.

SUPPLEMENTARY INFORMATION: How Can I Get Copies of This Document and 
Other Related Information?
    1. Docket. EPA has established an official public docket for this 
action under docket identification (ID) number OA-2003-0005. The 
official public docket consists of the complete Public Involvement 
Policy with its appendices and addenda, public comments on the 1981 and 
draft 2000 Policy, the Agency's Response to Comments and the Framework 
for Implementing EPA's Public Involvement Policy. The official public 
docket is the collection of materials that is available for public 
viewing at the Office of Environmental Information Docket, EPA Docket 
Center, (EPA/DC) EPA West, Room B102, 1301 Constitution Ave., NW., 
Washington, DC. The EPA Docket Center Public Reading Room is open from 
8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal 
holidays. The telephone number for the Reading Room is (202) 566-1744.
    2. Electronic Access. You may access this Federal Register document 
electronically through the EPA Internet under the ``Federal Register'' 
listings at http://www.epa.gov/fedrgstr/ or use http://www.epa.gov/publicinvolvement to access the Policy and all its attachments. 
Electronic versions of items in the public docket are available through 
EPA's electronic public docket and comment system, EPA Dockets 
(EDOCKET). You may use EDOCKET at http://www.epa.gov/edocket/ to access 
the index listing of the contents of the official public docket and 
documents that are available electronically. Once in the system, select 
``search,'' then key in the appropriate docket ID number. You may still 
access any of the publicly available docket materials through the EPA 
Docket Center.

Background

    On January 19, 1981, the Environmental Protection Agency (EPA) 
published its first Agency-wide Public Participation Policy (46 FR 
5736, Jan. 19, 1981). In November 1999, the EPA requested public 
comment on whether and how to change that Policy, and subsequently 
began a process to revise the policy and create a plan to implement it 
across the Agency. In December 2000, EPA released a draft revised 
Public Involvement Policy for public comment (65 FR 82335, Dec. 28, 
2000). The comment period closed on July 31, 2001, following a two-week 
internet-based dialogue on ``Public Involvement in EPA Decisions,'' 
which included 1,144 participants from all 50 states.

Overview of EPA's New Public Involvement Policy

    The Policy's core elements are the following seven basic steps for 
effective public involvement:
    1. Plan and budget for public involvement activities.
    2. Identify the interested and affected public.
    3. Consider providing technical or financial assistance to the 
public to facilitate involvement.
    4. Provide information and outreach to the public.
    5. Conduct public consultation and involvement activities.
    6. Review and use input, and provide feedback to the public.
    7. Evaluate public involvement activities.
    This Policy is meant to encourage development of new tools for 
public involvement and should not limit the degree or types of public 
involvement already in use at EPA. Agency guidance, which EPA is 
issuing simultaneously with this Policy, provides specific 
recommendations for accomplishing each of these seven steps, while also 
acknowledging the need for EPA officials to use discretion when

[[Page 33947]]

planning and implementing public involvement activities.
    The Policy reflects changes over the past 22 years such as:
    [sbull] New and expanded public participation techniques.
    [sbull] New options for public involvement through the Internet.
    [sbull] EPA's emphasis on assuring compliance.
    [sbull] Increased use of partnerships and technical assistance.
    [sbull] Increased public access to information.
    [sbull] Increased capacity of States, Tribes and local governments 
to carry out delegated programs.
    The Policy also reflects EPA's experience with public involvement 
from the national to the local level, and incorporates many ideas 
provided to EPA through public comments on the draft Policy. Today's 
Notice is limited to this brief introduction and the core policy 
statement. Concurrent with this Notice, EPA is also issuing the 
following supporting documents to facilitate and promote support the 
Policy's implementation:
    Appendix 1--``Guidance for Implementing Public Involvement at EPA'' 
[http://www.epa.gov/publicinvolvement/policy2003/guidance.pdf.]
    Appendix 2--Definitions that are integral to this Policy.
    Appendix 3--Examples of EPA's Public Involvement Regulations.
    Appendix 4--Federal Advisory Committees.
    Addendum 1--Selected tools the Agency has developed since 1981 to 
assist EPA staff and regulatory partners in conducting public 
involvement and consultation.
    Addendum 2--Summary of comments and EPA's responses.
    Two additional documents may be of interest. The Agency's complete 
``Response to Comments on EPA's Draft 2000 Public Involvement Policy'' 
is available at http://www.epa.gov/publicinvolvement/responsetocomments.pdf and the ``Framework for Implementing EPA's 
Public Involvement Policy'' is available at http://www.epa.gov/publicinvolvement/framework.pdf. (All documents referenced in the 
Policy are also available upon request to Public Involvement Staff, 
USEPA/OPEI/OEPI/PPCD Mail Code 1807T, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460.)
    The goal of this Policy is to improve the effectiveness of EPA's 
public involvement activities, ensure well-informed decisions, and 
encourage innovative methods for involving the public. As EPA 
implements the Policy, the Agency plans to share its experiences with 
states, tribes, local governments and other partners and interested 
parties.

    Dated: May 29, 2003.
Christine Todd Whitman,
Administrator.

EPA's Public Involvement Policy (Final May 2003)

Introduction

    EPA's mission is to protect human health and the environment. To 
achieve that mission, EPA needs to continue to integrate, in a 
meaningful way, the knowledge and opinions of others into its 
decision-making processes. Effective public involvement can both 
improve the content of the Agency's decisions and enhance the 
deliberative process. Public involvement also promotes democracy and 
civic engagement, and builds public trust in government.
    EPA has long been committed to public involvement. The 
fundamental premise of this Policy is that EPA should continue to 
provide for meaningful public involvement in all its programs, and 
consistently look for new ways to enhance public input. EPA staff 
and managers should seek input reflecting all points of view and 
should carefully consider this input when making decisions. They 
also should work to ensure that decision-making processes are open 
and accessible to all interested groups, including those with 
limited financial and technical resources, English proficiency, and/
or past experience participating in environmental decision-making. 
Such openness to the public increases EPA's credibility, improves 
the Agency's decision-making processes, and informs its final 
decisions. At the same time, EPA should not accept any 
recommendation or proposal without careful, critical examination.
    This Policy supplements, but does not amend, existing EPA 
regulations that prescribe specific public participation 
requirements applicable to EPA's activities under specific statutes, 
such as those found at 40 CFR part 25 ``Public Participation in 
Programs Under the Resource Conservation and Recovery Act, the Safe 
Drinking Water Act, and the Clean Water Act.'' (See 40 CFR part 25, 
which can be found at http://www.epa.gov/publicinvolvement/pdf/part25.pdf.) The public participation requirements contained in such 
regulations specify the minimum required level of public 
participation. (A partial listing of existing public participation 
regulatory requirements is contained in Appendix 3.) Whenever 
feasible, Agency officials should strive to provide increased 
opportunities for public involvement above and beyond the minimum 
regulatory requirements.

What Is Public Involvement?

    The term ``public involvement'' is used in this Policy to 
encompass the full range of actions and processes that EPA uses to 
engage the public in the Agency's work, and means that the Agency 
considers public concerns, values, and preferences when making 
decisions. The term ``the public'' is used in the Policy in the 
broadest sense to include anyone, including both individuals and 
organizations, who may have an interest in an Agency decision. (See 
Appendix 2 for a detailed definition of ``public'' and other 
important terms.)

What Are the Purposes, Goals and Objectives of This Policy?

    The purposes of this Policy are to:
    [sbull] Improve the acceptability, efficiency, feasibility and 
durability of the Agency's decisions.
    [sbull] Reaffirm EPA's commitment to early and meaningful public 
involvement.
    [sbull] Ensure that EPA makes its decisions considering the 
interests and concerns of affected people and entities.
    [sbull] Promote the use of a wide variety of techniques to 
create early and, when appropriate, continuing opportunities for 
public involvement in Agency decisions.
    [sbull] Establish clear and effective guidance for conducting 
public involvement activities.
    Effective public involvement will make it easier for the public 
to contribute to the Agency's decisions, build public trust, and 
make it more likely that those who are most concerned with and 
affected by Agency decisions will accept and implement them. This 
policy supports EPA in meeting statutory and regulatory requirements 
regarding public participation, particularly in environmental 
permitting programs and enforcement activities.
    EPA goals for public involvement processes are to:
    [sbull] Foster a spirit of mutual trust, confidence, and 
openness between the Agency and the public.
    [sbull] Ensure that the public has timely, accessible and 
accurate information about EPA programs in a variety of formats so 
that people can better understand the implications of potential 
alternative courses of action.
    [sbull] Consult with interested or affected segments of the 
public and take public viewpoints into consideration when making 
decisions.
    [sbull] Learn from individuals and organizations representing 
various public sectors and the information they are uniquely able to 
provide (community values, concerns, practices, local norms, and 
relevant history, such as locations of past contaminant sources, 
potential impacts on small businesses or other sectors, industry 
conducted study results, etc.)
    [sbull] Solicit assistance from the public in understanding 
potential consequences of technical issues, identifying alternatives 
for study, and selecting among the alternatives considered.
    [sbull] Keep the public informed about significant issues and 
changes in proposed programs or projects.
    [sbull] Foster, to the extent possible, equal and open access to 
the regulatory process for all interested and affected parties.
    [sbull] Understand the goals and concerns of the public, and 
respond to them.
    [sbull] Anticipate conflict and encourage early discussions of 
differences among affected parties.

[[Page 33948]]

    [sbull] Promote the public's involvement in the Agency's mission 
of protecting human health and the environment.
    [sbull] Explain to the public how its input affected the 
Agency's decision.
    To achieve these purposes and goals, while recognizing resource 
constraints, Agency officials should strive to provide for, 
encourage, and assist public involvement in the following ways:
    [sbull] Involve the public early and often throughout the 
decision-making process.
    [sbull] Identify, communicate with and listen to affected 
sectors of the public (Agency officials should plan and conduct 
public involvement activities that provide equal opportunity for 
individuals and groups to be heard. Where appropriate, Agency 
officials should give extra encouragement and consider providing 
assistance to sectors, such as minority and low-income populations, 
small businesses, and local governments, to ensure they have full 
opportunity to be heard and, where possible, access to technical or 
financial resources to support their participation.)
    [sbull] Involve members of the public in developing options and 
alternatives when possible and, before making decisions, seek the 
public's opinion on options or alternatives.
    [sbull] Use public input to develop options that facilitate 
resolution of differing points of view.
    [sbull] Make every effort to tailor public involvement programs 
to the complexity and potential for controversy of the issue, the 
segments of the public affected, the time frame for decision making 
and the desired outcome.
    [sbull] Develop and work in partnerships with state, local and 
tribal governments, community groups, associations, and other 
organizations to enhance and promote public involvement.

When Does This Policy Apply?

    This Policy applies to all EPA programs and activities. In 
programs or activities where the public is already meaningfully 
involved, EPA can use this Policy to enhance that public 
involvement. Where the existing level of public involvement needs to 
improve, this Policy provides suggestions for how to move forward. 
Finally, this Policy can serve as a model for building public 
involvement into new programs as they are developed.
    The activities where conducting meaningful public involvement 
should particularly be considered include:
    [sbull] EPA rulemaking, when the regulations are expected to be 
classified as Significant Actions (under the terms of Executive 
Order 12866).
    [sbull] EPA issuance or significant modification of permits, 
licenses or renewals.
    [sbull] Selection of plans for cleanup, remediation or 
restoration of hazardous waste sites or Brownfields properties.
    [sbull] EPA's decision on whether to authorize, delegate or 
approve states or local governments to administer EPA programs 
consistent with the relevant regulatory requirements for each 
program (Note: Tribes seeking approval to administer environmental 
programs under EPA statutes generally also seek ``treatment in a 
similar manner as a state (TAS)'' status from EPA. Appropriate 
opportunities for public participation are contained in the relevant 
statutory and regulatory provisions establishing a TAS process. 
Consult with the Office of Regional Counsel or the Office of General 
Counsel, and/or the American Indian Environmental Office for 
assistance.)
    [sbull] All other policy decisions that the Administrator, 
Deputy Administrator or appropriate Assistant, Regional or Associate 
Administrator determine warrant public participation in view of 
EPA's commitment to involve the public in important decisions.
    [sbull] The development of significant information products (as 
the Office of Environmental Information has defined them in Appendix 
2: Definitions).
    [sbull] For activities not listed here, EPA staff may use this 
Policy in whole or in part to strengthen decision making.
    In planning and conducting public involvement activities, Agency 
officials should rely on the sound use of discretion. The Policy is 
not a rule, is not legally enforceable, and does not confer legal 
rights or impose legal obligations upon any member of the public, 
EPA or any other agency. Resource constraints, the need for timely 
action and other considerations may affect the appropriate nature 
and extent of public involvement. For example, a compelling need for 
immediate action may make it appropriate to limit public 
involvement. In particular, the desire to reach agreement among all 
parties, while valuable, should not prevent the Agency from carrying 
out its responsibility to make decisions or take actions to preserve 
and protect the environment and public health.
    Nevertheless, the Agency should approach all decision making 
with a bias in favor of significant and meaningful public 
involvement. Experience throughout government has shown that a lack 
of adequate participation or of effective means for participation 
can result in decisions that do not appropriately consider the 
interests or needs of those that will be most affected by them. 
Furthermore, early involvement can ultimately reduce delay, by 
avoiding time-consuming review, public debate or litigation. 
Finally, decisions based on meaningful public involvement are likely 
to be better in substance and stand the test of time, avoiding the 
need to reopen controversial issues.

Does This Policy Affect Authorized, Approved or Delegated Programs?

    EPA developed this Policy for EPA staff use, but it also may be 
useful to States, Tribes and local governments that implement 
federally delegated, authorized or approved programs. EPA encourages 
these entities to adopt similar public involvement policies if they 
have not already done so. EPA intends to discuss the effectiveness 
of their public involvement activities during periodic meetings with 
States, Tribes and local governments, and will obtain their input 
about ways to improve EPA's activities. EPA will not use whether a 
State, Tribe or local government has adopted EPA's Public 
Involvement Policy as a criterion for the authorization, approval or 
delegation of programs or the award of grants. In general, 
recipients may use grants for continuing environmental programs and 
Performance Partnership Grants to fund public involvement activities 
to the extent that costs are allowable under OMB Circular A-87 and 
applicable EPA regulations. (Note: Some statutory or regulatory 
provisions require compliance with certain public participation 
requirements before EPA may approve a grant. See 40 CFR 25.11 and 
25.12.) The grant applicant may comply with such requirements 
without adopting EPA's Policy.

What Are the Roles of States, Tribes and Local Governments?

    State agencies, Tribes and some local governments have unique 
roles regarding EPA's programs and decisions:
    1. State agencies, Tribes and some local governments may be co-
regulators with EPA. In some cases, they implement authorized, 
approved or delegated Federal programs. In other cases, they run 
independent, but closely-related programs. In both cases they work 
closely with EPA as regulatory partners, and EPA will consult them 
as appropriate when implementing this Policy. In addition, they may 
have expertise that can be valuable to EPA in designing public 
involvement activities.
    2. State agencies, Tribes and local governments also may be 
regulated parties when they undertake activities that are subject to 
Federal laws and regulations. As regulated parties, they are also 
members of the community of regulated stakeholders, and would 
benefit from the application of the Policy like other regulated 
parties.
    3. Whether they are partners helping EPA implement a program or 
members of the regulated community affected by EPA regulations, 
state agencies, Tribes, and regional and local governments often 
play an active role in making recommendations on policies, rules, 
plans and recommendations under development, and providing input on 
EPA's decisions.
    The role of Tribes is unique in another way. Each federally-
recognized Tribal government is a sovereign entity that has an 
individual government-to-government relationship with the federal 
government. EPA should coordinate and consult meaningfully with 
Tribes to the greatest extent practicable for agency actions that 
may affect the tribes. This Policy complements EPA's efforts to 
consult with Tribes. See Executive Order 13175, Consultation and 
Coordination With Indian Tribal Governments November 6, 2000.
    Consultation should be a meaningful and timely two-way exchange 
with Tribal officials that provides for the open sharing of 
information, the full expression of Tribal and EPA views, a 
commitment to consider Tribal views in decision making, and respect 
of Tribal self-government and sovereignty. The Agency should allow 
comment from Tribes early in the planning process and prior to 
making a decision. However, consultation does not imply that the 
Tribes or any other non-EPA entities that are consulted can stop an 
Agency action by withholding consent.

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How Does the Policy Relate to Environmental Justice?

    This Policy complements and is consistent with EPA's 
environmental justice efforts. ``Environmental Justice'' is the fair 
treatment of people of all races, cultures, and incomes, including 
minority and/or low-income communities and Tribes, with respect to 
the development, implementation, and enforcement of environmental 
laws and policies, and their meaningful involvement in the decision-
making processes of the government. Environmental justice is 
achieved when everyone, regardless of race, culture or income, 
enjoys the same degree of protection from environmental and health 
hazards and equal access to the decision-making process to have a 
healthy environment in which to live, learn and work. This includes 
ensuring greater public participation in the Agency's development 
and implementation of its regulations and policies. (Memorandum from 
EPA Administrator Christine Todd Whitman, dated August 9, 2001, 
``EPA's Commitment to Environmental Justice.'') (See also, Executive 
Order 12898, ``Federal Actions to Address Environmental Justice in 
Minority Populations and Low-Income Populations, dated February 11, 
1994.) Thus, ensuring meaningful public involvement advances the 
goals of environmental justice.

EPA's Seven Basic Steps for Effective Public Involvement

    The EPA should ensure that it conducts meaningful public 
involvement activities and implements all public involvement 
provisions required by statute.
    There are seven basic steps to consider when planning for public 
involvement. Agency officials should exercise judgment and carefully 
consider the particular circumstances of each situation in 
determining how to carry out those steps. Agency staff and managers 
should strive to provide the most meaningful public involvement 
opportunities appropriate to each situation. Agency officials should 
consider the issues, locations, potential environmental and human 
health consequences of the activities, potential for controversy, 
specific needs of the public and the Agency, and other circumstances 
when designing public involvement processes. For instance, enhanced 
opportunities for public involvement should be created for those 
situations in which there is the potential for greater environmental 
or human health consequences or controversy. It is important to note 
that the Agency needs to set priorities for its use of resources, 
and that budgetary constraints may affect the implementation of any 
of these elements.
    The seven basic steps for effective public involvement in any 
decision or activity are:
    1. Plan and budget for public involvement activities.
    2. Identify the interested and affected public.
    3. Consider providing technical or financial assistance to the 
public to facilitate involvement.
    4. Provide information and outreach to the public.
    5. Conduct public consultation and involvement activities.
    6. Review and use input and provide feedback to the public.
    7. Evaluate public involvement activities.
    The recommended goals, actions and methods for each of these 
steps are described in Appendix 1, Guidance for Implementing Public 
Involvement at EPA, at http://www.epa.gov/publicinvolvement/policy2003/guidance.pdf.

Who Is Responsible for Managing the Application of This Policy?

    Under the overall direction of the Administrator, and consistent 
with this policy, Assistant, Regional and Associate Administrators 
are responsible for ensuring that their managers and staff encourage 
and facilitate public involvement in programs and activities. Public 
involvement should be an integral part of any Agency program. 
Moreover, the Agency should strive to achieve public involvement 
that is commensurate with the potential impact of the activity. The 
Assistant, Regional or Associate Administrators should make certain 
that concerns about the adequacy of public involvement are heard 
and, where necessary, acted upon as resources allow. Managers should 
encourage and facilitate the proper training, support and counseling 
of staff, and, recognizing overall budgetary constraints, should 
plan for and provide adequate funding for training or other needs in 
their specific budgets. (See more detailed responsibilities section 
in Appendix 1 at http://www.epa.gov/publicinvolvement/policy2003/guidance.pdf.)

[FR Doc. 03-14325 Filed 6-5-03; 8:45 am]
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